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Al Palkovich

Rockefeller Financial LLC

Saratoga Springs, NY

Chicago, IL

Rockefeller Capital Management

Saratoga Springs, NY

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-02-20
FL RA APPROVED 2022-08-09
CT RA APPROVED 2022-08-08
NY RA APPROVED 2022-08-08
  • TX RA
    APPROVED_RES
    Since 2024-02-20
  • FL RA
    APPROVED
    Since 2022-08-09
  • CT RA
    APPROVED
    Since 2022-08-08
  • NY RA
    APPROVED
    Since 2022-08-08

Branch Locations

321 Broadway, Saratoga Springs, NY 12866 • United States

222 West Adams Suite 2450, Chicago, IL 60606 • United States

Rockefeller Capital Management

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-02-20
NY RA APPROVED 2024-02-16
  • TX RA
    APPROVED_RES
    Since 2024-02-20
  • NY RA
    APPROVED
    Since 2024-02-16

Branch Locations

321 Broadway, Saratoga Springs, NY 12866 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Ayco Company, L.P./Mercer Allied Latham NY 08/2006 01/2021
Ayco/Goldman Sachs & Co. Llc Latham NY 01/2021 07/2022
Rockefeller Financial Llc Saratoga NY 08/2022 Present
  • 08/2006 → 01/2021
    The Ayco Company, L.P./Mercer Allied
    Latham, NY
  • 01/2021 → 07/2022
    Ayco/Goldman Sachs & Co. Llc
    Latham, NY
  • 08/2022 → Present
    Rockefeller Financial Llc
    Saratoga, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-09
  • S66 Uniform Combined State Law Examination
    2009-11-09
Other Names
  • A.J. Palkovich
  • Al Joseph Palkovich

View on SEC IAPD

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Other Offices

SARATOGA INVESTMENT SOLUTIONS INC. · SARATOGA SPRINGS, NY
COMMONWEALTH FINANCIAL NETWORK · Saratoga Springs, NY
JANNEY MONTGOMERY SCOTT LLC · SARATOGA SPRINGS, NY
CONTINUUM WEALTH ADVISORS, LLC · SARATOGA SPRINGS, NY
STERLING MANOR FINANCIAL, LLC · SARATOGA SPRINGS, NY
NYE STREET PARTNERS LLC · SARATOGA SPRINGS, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SARATOGA SPRINGS, NY
LPL FINANCIAL LLC · SARATOGA SPRINGS, NY

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